ComplianceInternship – Tigress Financial Partners

Tigress Financial Partners


Responsibilities mayinclude: Interacting closely with line professionals globally and assisting them with compliance matters requiring real-time judgment and strongfamiliaritywithbusinessandtradingpractices Providing tradesurveillance Monitoring compliance with firm wide and divisionalemployee tradingpolicies Assisting in customer suitability, due diligence, and accountopeningmatters Working with the Compliance and Legal Department to advise the business units on regulatory requirements and interpretation and application of rules andregulations Monitoring information barrier and insider trading-related matters, including wall crossings, employee trading and investing, Restricted Trading and other related lists, and the release of research that may have information barrier related issues Participating in responses to regulatoryaudits Working with the Legal Department on internalinvestigations and responses to regulatoryinquires Ensuring that our professionals secure and maintain proper licensing, and ensuring they fulfill ongoing obligations to meet their continuing educationrequirements Reviewing the firms “Written SupervisoryProcedures” pertaining toCompliance Obtaining an introduction to Series 7licensing

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